2013-2014 in Accordance with Sebi Circular No
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Principal Mutual Fund DISCLOSURE OF COMMISSION PAID TO DISTRIBUTORS FOR F.Y.2013-2014 IN ACCORDANCE WITH SEBI CIRCULAR NO. CIR/IMD/DF/13/2011 DATED AUGUST 22, 2011 AND CIR/IMD/DF/21/2012 DATED SEPTEMBER 13, 2012 Rs. In Lacs Sr. No. ARN Name of ARN Holder Total Commission Total Expenses paid Total Commission + Gross Inflows Net Inflows Whether the distributor is Averge Assets AUM as on Ratio of Aum paid during during Expenses paid during FY an associate or group under Management 31-Mar-2014 to Gross FY 2013-14 FY 2013-14 2013-14 compnay of the sponsors for FY 2013-14 Inflows of the Mutual Fund A B A+B 1 1 BNP Paribas 0.20 0.00 0.20 0.10 - 1,022.86 NO 36.38 14.86 148.25 2 2 JM Financial Services Limited 37.40 0.00 37.40 14,620.00 - 3,393.45 NO 5,463.74 4,879.94 0.33 3 3 Aditya Birla Money Mart Ltd 43.76 0.00 43.76 102,552.76 - 11,048.09 NO 21,099.78 15,946.24 0.16 4 4 Cholamandalam Distribution Services Limited 1.16 0.00 1.16 34,500.26 - 89.64 NO 618.57 202.56 0.01 5 5 HDFC Bank Limited 13.63 0.00 13.63 10,176.40 - 1,060.87 NO 3,986.97 2,774.13 0.27 6 6 SKP Securities Limited 2.47 0.00 2.47 182.16 - 39.65 NO 411.76 472.91 2.60 7 7 SPA Capital Services Limited 11.89 0.00 11.89 30,159.63 2,585.05 NO 10,502.66 11,415.05 0.38 8 8 ENAM Securities Private Limited 2.83 0.00 2.83 7,440.23 - 2,302.62 NO 1,728.54 287.39 0.04 9 9 Way2Wealth Securities Private Limited 1.47 0.00 1.47 2.63 - 160.39 NO 297.32 295.21 112.18 10 10 Bajaj Capital Ltd. 13.32 0.00 13.32 2,559.74 - 963.85 NO 2,796.10 2,389.33 0.93 11 16 Bluechip Corporate Investment Centre Ltd 11.18 0.00 11.18 20.82 - 561.15 NO 2,135.81 2,173.26 104.39 12 17 Stock Holding Corporation of India Limited 0.78 0.00 0.78 31.29 - 37.08 NO 147.59 148.33 4.74 13 18 Karvy Stock Broking Limited 22.84 0.00 22.84 3,799.20 176.63 NO 4,101.26 4,735.86 1.25 14 19 Axis Bank Limited 3.02 0.00 3.02 289.41 8.77 NO 706.27 803.39 2.78 15 20 ICICI Bank Limited 4.85 0.00 4.85 17.25 - 462.67 NO 1,108.24 1,111.11 64.41 16 21 Tata Securities Limited 1.29 0.00 1.29 174,070.99 2,662.40 NO 1,894.75 2,888.49 0.02 17 22 Hongkong & Shanghai Banking Corporation Ltd. 0.28 0.00 0.28 0.39 - 42.69 NO 59.74 65.83 169.00 18 30 Eastern Financiers Ltd. 2.21 0.00 2.21 14.14 - 153.58 NO 420.15 389.88 27.58 19 32 RR Investors Capital Services Pvt Ltd. 5.91 0.00 5.91 50.89 - 403.82 NO 1,248.43 1,284.26 25.24 20 39 Bluechip Capital Services Private Limited 3.49 0.00 3.49 229.04 - 67.44 NO 378.52 355.37 1.55 21 55 Citibank N.A 12.37 0.00 12.37 438.17 - 5,670.91 NO 2,157.44 1,972.98 4.50 22 58 IDBI Bank Ltd 13.85 0.00 13.85 3,170.91 9.07 NO 2,586.70 2,157.32 0.68 23 60 Farhad Sam Choksey 0.00 0.00 0.00 - - NO - - - 24 81 Major Ashish Chadha 0.00 0.00 0.00 - - NO 35.23 39.35 - 25 88 Sadashiv Arvind Phene 0.00 0.00 0.00 - - NO - - - 26 98 Geojit BNP Paribas Financial Services Limited 2.19 0.00 2.19 135.07 - 62.28 NO 383.81 409.13 3.03 27 111 ITI Financial Services Limited 0.45 0.00 0.45 1.38 - 19.78 NO 90.65 94.18 68.25 28 145 DSP Merrill Lynch Limited 1.57 0.00 1.57 0.31 - 73.34 NO 361.99 367.52 1,185.72 29 155 NJ IndiaInvest Pvt Ltd 85.33 3.20 88.53 3,008.19 - 2,883.85 NO 13,711.56 14,134.28 4.70 30 158 Mata Securities India Pvt. Ltd 0.12 0.00 0.12 801.96 - 25.10 NO 22.70 24.26 0.03 31 164 Kotak Securities Ltd 1.16 0.00 1.16 14.88 - 32.57 NO 264.62 283.28 19.04 32 165 Zeenat S Jagani 0.98 0.00 0.98 338.48 288.75 NO 213.92 513.71 1.52 33 168 Anand Rathi Financial Services Limited 1.69 0.00 1.69 1,421.45 342.96 NO 623.51 804.85 0.57 34 169 Hero FinCorp Ltd 0.00 0.00 0.00 - - NO 0.12 0.14 - 35 180 ING Vysya Bank Ltd. 2.54 0.00 2.54 14.22 - 264.95 NO 527.53 305.01 21.45 36 186 Bonanza Portfolio Ltd 1.21 0.00 1.21 3.23 - 25.93 NO 233.15 231.92 71.72 37 206 PLC Securities Ltd 0.26 0.00 0.26 0.20 - 65.16 NO 49.12 6.34 32.07 38 238 Sprism Investment Services Private Limited 0.54 0.00 0.54 0.98 - 42.77 NO 86.19 86.70 88.86 39 262 A.G. Financial Services 0.02 0.00 0.02 - - 0.54 NO 4.87 5.51 - 40 266 P.H. Financial & Investment Consultants Pvt. Ltd. 8.08 11.33 19.41 16,115.69 - 2,609.08 NO 977.66 73.52 0.00 41 307 Russell Credit Limited 0.00 0.00 0.00 - - NO 0.37 0.42 - 42 323 Prebon Yamane India Limited 0.36 0.00 0.36 831.95 219.82 NO 302.23 254.39 0.31 43 353 Development Credit Bank Limited 0.79 0.00 0.79 0.02 - 44.87 NO 148.17 152.03 7,003.87 44 354 Standard Chartered Securities (India) Limited 1.34 0.00 1.34 0.72 - 86.01 NO 404.96 408.71 571.51 45 358 K Arun Kumar 0.00 0.00 0.00 - - 0.06 NO 0.31 0.34 - 46 507 Zen Securities Limited 0.10 0.00 0.10 2.51 - 10.10 NO 22.36 23.20 9.24 47 633 Indusind Bank Ltd 1.05 0.00 1.05 102.31 - 65.67 NO 175.71 147.89 1.45 48 654 J R Laddha Financial Services (P) Ltd. 0.05 13.00 13.05 10.00 - 545.71 NO 11.63 20.59 2.06 49 703 Batlivala & Karani Securities India Pvt. Ltd. 1.10 0.00 1.10 13,886.18 - 102.84 NO 593.02 12.52 0.00 50 783 Lakshmi Enterprises 0.00 0.00 0.00 - - NO 0.84 0.97 - 51 845 ICICI Securities Limited 13.03 3.38 16.41 4,769.91 - 1,032.74 NO 4,494.59 3,795.08 0.80 52 864 Om Spectrum Financial Consultants Pvt. Ltd. 0.20 0.00 0.20 0.00 - 12.53 NO 34.81 34.78 11,725.43 53 900 Wealth Managers (India) Private Limited 0.67 0.00 0.67 927.67 - 64.28 NO 485.92 102.81 0.11 54 910 Oswal Dhan Private Limited 0.04 0.00 0.04 - - 1.43 NO 9.86 10.49 - 55 912 B D Shroff Securities Private Limited 0.44 0.00 0.44 0.50 - 42.47 NO 80.63 63.79 127.57 56 940 Dalal & Broacha Stock Broking Pvt. Ltd. 0.17 0.00 0.17 - - 4.46 NO 27.31 27.55 - 57 962 Integrated Enterprises (India) Ltd 8.53 0.00 8.53 23.64 - 363.97 NO 1,410.02 1,436.02 60.75 58 988 Ganesh Shridhar Shanbhag 0.43 0.00 0.43 0.01 - 31.64 NO 90.82 83.46 12,381.62 59 1016 Roopa Venkatkrishnan 0.00 0.00 0.00 - - NO - - - 60 1017 Rajbir Singh 0.95 0.00 0.95 6.12 - 21.39 NO 147.06 158.52 25.88 61 1022 Quantum Information Services Private Limited 0.09 0.00 0.09 - - 3.08 NO 18.68 18.54 - 62 1142 Wealth First Advisors Pvt Ltd 0.24 0.00 0.24 77.02 36.22 NO 44.68 49.29 0.64 63 1146 Dipak Kumar Das 0.21 0.00 0.21 37.89 - 11.31 NO 36.13 61.66 1.63 64 1159 The Royal Bank of Scotland N V 1.50 0.00 1.50 0.73 - 78.54 NO 253.19 246.59 339.15 65 1160 Prescient Financial Solutions 0.00 0.00 0.00 - - 231.30 NO 1.26 1.15 - 66 1173 Shivranjani Securities Company Pvt Ltd 0.06 0.00 0.06 - - 2.47 NO 11.92 11.75 - 67 1209 Standard Chartered Bank 11.92 0.00 11.92 6,182.45 2,741.12 NO 2,596.29 5,525.14 0.89 68 1238 Harley Securities Pvt Ltd 0.00 0.00 0.00 - - NO 1.00 1.15 - 69 1239 Axiom Financial Services Pvt Ltd 0.00 0.00 0.00 - - NO - - - 70 1308 Almondz Global Securities Ltd 2.69 0.00 2.69 119.55 - 132.97 NO 580.70 598.75 5.01 71 1379 Anita Investment Agencies 0.00 0.00 0.00 - - NO - - - 72 1389 Right Choice Securities Pvt Ltd 0.35 0.00 0.35 2.44 - 23.18 NO 59.08 58.60 23.99 73 1390 Kotak Mahindra Bank Limited 5.03 0.00 5.03 2,872.26 - 817.13 NO 2,030.11 998.85 0.35 74 1428 Poddar Financial Services 0.02 0.00 0.02 - - 10.58 NO 2.41 0.62 - 75 1435 Security Investments Limited 1.37 0.40 1.77 109.04 - 136.10 NO 244.40 191.43 1.76 76 1480 Raviraj Investments Corporate (India) Pvt Ltd 1.29 0.00 1.29 2.57 - 62.06 NO 206.04 211.41 82.13 77 1488 Goldstar Financial Services Private Limited 14.93 0.00 14.93 4,537.62 459.45 NO 1,404.21 1,522.31 0.34 78 1560 Purnima Securities Pvt Ltd 0.00 0.00 0.00 - - NO - - - 79 1563 Emkay Global Financial Services Limited 0.15 0.00 0.15 16.36 - 34.71 NO 25.01 24.95 1.53 80 1665 Matrix Financial Services Ltd 0.40 0.00 0.40 1.37 - 33.18 NO 71.62 67.79 49.66 81 1666 Safe Assets 0.11 0.00 0.11 - - 8.95 NO 43.17 40.00 - 82 1668 ECS Financial Services (India) Private Limited 0.46 0.00 0.46 3.14 - 24.60 NO 95.58 97.94 31.22 83 1676 Right Returns 0.00 0.00 0.00 - - NO - - - 84 1678 Mangsidhesh Investments Pvt Ltd 0.40 0.00 0.40 3.23 - 8.41 NO 67.84 68.53 21.19 85 1912 Anjali Investment & Consultants 0.08 0.00 0.08 0.29 - 5.86 NO 16.10 14.99 51.69 86 1920 Hari Ghanashyam Kamat 0.03 0.00 0.03 0.07 - 1.94 NO 4.99 5.51 84.44 87 1964 Anil Khera 0.04 0.00 0.04 2.00 - 66.60 NO 7.67 8.54 4.27 88 2023 Bharat Bhushan & Co.